- TD Bank (New York, NY)
- …a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory ... covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel… more
- Citigroup (New York, NY)
- …the Role** The Finance Regulatory Engagement, Governance & Reporting, Assistant Vice President contributes to the directional strategy of regulatory ... are maintained and followed related to the management of regulatory interactions, including exam management, regulatory...to the management of regulatory interactions, including exam management, regulatory meetings and requests for… more
- BMO Financial Group (New York, NY)
- …services to clients around the world. #bmocapitalmarkets **Mandate** : Vice President will work directly with the Director, Regulatory & Financial Crisis ... understanding of supervisory procedure concepts + Familiarity with financial industry regulatory exam concepts + Experience dealing directly with Financial… more
- MUFG (New York, NY)
- …team will provide more details. Regulatory Affairs Office (RAO) Coordinator, Assistant Vice President Join a financial group that's as committed to your ... trusted financial group. **Major Responsibilities** : + Support end-to-end Banking regulatory exam management, including meeting scheduling, organization of… more
- Wells Fargo (New York, NY)
- …this role:** The Tech, Media & Telecom (TMT) Investment Banking group is seeking a Vice President , Business and Tech Services (BTS), to join its New York City ... deal execution. **In this role, you will:** + The Vice President will be responsible for independently...**Job Expectations** + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire… more
- Wells Fargo (New York, NY)
- …The Healthcare coverage group within Corporate & Investment Banking (CIB) is seeking a Vice President Investment Banker to join its New York office - ... Healthcare Services. **In this role, you will:** + The Vice President will be responsible for independently...**Job Expectations:** + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire… more
- Bank of America (New York, NY)
- Sr. Data Analyst, Data Steward Team - Vice President New York, New York;Jersey City, New Jersey **Job Description:** **Job Description** Global Corporate & ... business executors, thematic review of data issues and incidents as well as regulatory exam results - to influence GCIB's data strategy and initiatives roadmap +… more
- SMBC (New York, NY)
- …**Facilitation of Internal and External Oversight Requirements** 1. Assist with exam / monitoring/ testing management from internal audit and control departments. 2. ... Support exam and periodic review from external regulators, such as...market and liquidity risk across legal entities. Issues include regulatory issues, audit issues and management self-identified issues. 2.… more
- Raymond James Financial, Inc. (New York, NY)
- …Manager Experience - More than 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Salary ... Range** $130,000.00-$250000.00 **Travel** Less than 25% **Workstyle** Resident At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity,… more
- Mizuho Corporate Bank (New York, NY)
- …compliance. SummaryThe Regulatory Relations Team is seeking an Assistant Vice President ("AVP") to primarily support and coordinate supervisory examinations, ... in examinations. Responsibilities include, but not limited to, setting up exam SharePoint site, drafting regulatory responses with stakeholders, developing… more
- State of New York Mortgage Agency (New York, NY)
- …to be carried in the legal department, at the discretion of the Senior Vice President /General Counsel and the Deputy Counsel for Compliance. QUALIFICATIONS: + ... affordable housing and increase homeownership throughout New York State. A Civil Service exam is not required for this position. Candidates must meet the minimum… more